Oferta pracy

Citi Handlowy

Markets Compliance Officer - Surveillance

Citi HandlowyO firmie

Citi Handlowy

Senatorska 16

Warszawa

Citi Handlowy is a bank which combines the experience and the best traditions of the Polish banking with a modern model of finance.

Citi Handlowy is one of the strongest local banking institution and an integral part of Citi - a leading financial services company, having approximately 200 million customer accounts and operating in more than 160 countries and jurisdictions.

Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.
Markets Compliance Officer - Surveillance
Miejsce pracy: Warszawa
21275764

Serves as a compliance risk officer for Markets Compliance team, responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. Surveillance in Markets Compliance encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, and information barrier surveillance.

Responsibilities:

  • Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

  • Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.

  • Preparing, editing and maintaining Compliance program related materials.

  • Responding to inquiries or requests from internal partners (e.g. Compliance Assurance, Internal Audit, and Legal).

  • Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances.

  • Can exercise independence of judgement and autonomy.

  • Acts as SME to senior stakeholders and /or other team members.

  • Additional duties as assigned

  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding the Bank, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

  • University degree

  • At least 1 year of experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

  • Excellent written and verbal communication skills

  • Must be a self-starter, flexible, innovative and adaptive

  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

  • Proven project management and organizational skills and capability to handle multiple projects at one time

  • Proficient in MS Office applications (Excel, Word, PowerPoint)

  • Knowledge of Compliance laws, rules, regulations, risks and typologies

  • Some knowledge in area of focus

As an employer we offer:

  • Opportunity of professional development in the international and well-established company

  • Learning opportunities and challenging assignments in which you can utilize your knowledge

  • Work with a passionate team of motivated professionals

  • Competitive social benefits (medical care, Multisport, life insurance, pension plan and other)

The role of Markets Compliance Officer - Surveillance is located at Bank Handlowy S.A. in Warsaw:

https://careers.citigroup.com/docs/policies/BankHandlowyPolandPrivacyNotice.pdf

We will begin to review applications before the deadline and therefore encourage you to apply as soon as possible.

The role is located at Bank Handlowy S.A. in Warsaw:
https://careers.citigroup.com/docs/policies/BankHandlowyPolandPrivacyNotice.pdf
Markets Compliance Officer - SurveillanceNumer ref.: 21275764

Serves as a compliance risk officer for Markets Compliance team, responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. Surveillance in Markets Compliance encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, and information barrier surveillance.

Responsibilities:

  • Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

  • Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.

  • Preparing, editing and maintaining Compliance program related materials.

  • Responding to inquiries or requests from internal partners (e.g. Compliance Assurance, Internal Audit, and Legal).

  • Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances.

  • Can exercise independence of judgement and autonomy.

  • Acts as SME to senior stakeholders and /or other team members.

  • Additional duties as assigned

  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding the Bank, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

  • University degree

  • At least 1 year of experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

  • Excellent written and verbal communication skills

  • Must be a self-starter, flexible, innovative and adaptive

  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

  • Proven project management and organizational skills and capability to handle multiple projects at one time

  • Proficient in MS Office applications (Excel, Word, PowerPoint)

  • Knowledge of Compliance laws, rules, regulations, risks and typologies

  • Some knowledge in area of focus

As an employer we offer:

  • Opportunity of professional development in the international and well-established company

  • Learning opportunities and challenging assignments in which you can utilize your knowledge

  • Work with a passionate team of motivated professionals

  • Competitive social benefits (medical care, Multisport, life insurance, pension plan and other)

The role of Markets Compliance Officer - Surveillance is located at Bank Handlowy S.A. in Warsaw:

https://careers.citigroup.com/docs/policies/BankHandlowyPolandPrivacyNotice.pdf

Program jest realizowany w miastach:

Bełchatów, Białystok, Bielsko-Biała, Bydgoszcz, Bytom, Chełm, Chorzów, Częstochowa, Dąbrowa Górnicza, Elbląg, Ełk, Gdańsk, Gdynia, Gliwice, Głogów, Gorzów Wielkopolski, Jelenia Góra, Kalisz, Katowice, Kielce, Konin, Koszalin, Kraków, Kutno, Legnica, Leszno, Lublin, Łomża, Łódź, Mielec, Nowy Sącz, Oborniki Wielkopolskie, Olsztyn, Opole, Ostrów Wielkopolski, Pabianice, Piekary Śląskie, Piła, Piotrków Trybunalski, Płock, Poznań, Puławy, Radom, Ruda Śląska, Rybnik, Rzeszów, Siedlce, Siemianowice Śląskie, Sieradz, Skarżysko Kamienna, Sosnowiec, Stalowa Wola, Stargard Szczeciński, Szczecin, Świdnica, Tarnowo Podgórne, Tarnowskie Góry, Tarnów, Tomaszów Mazowiecki, Toruń, Tychy, Wałbrzych, Warszawa, Włocławek, Wrocław, Zabrze, Zamość, Zielona Góra, Żory.

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